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United States Securities and Exchange Commission UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 30, 2021 General Electric Company (Exact name of registrant as specified in its charter) New York 001-00035 14-0689340 (State or other jurisdiction (Commission (IRS Employer of incorporation) File Number) Identification No.) 5 Necco Street, Boston, MA 02210 (Address of principal executive offices) (Zip Code) Registrant’s telephone number, including area code (617) 443-3000 (Former name or former address, if changed since last report.) Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instructions A.2. below): ☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) ☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) ☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) ☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) Securities registered pursuant to Section 12(b) of the Act: Title of each class Trading Symbol(s) Name of each exchange on which registered Common stock, par value $0.01 per share GE New York Stock Exchange 0.375% Notes due 2022 GE 22A New York Stock Exchange 1.250% Notes due 2023 GE 23E New York Stock Exchange 0.875% Notes due 2025 GE 25 New York Stock Exchange 1.875% Notes due 2027 GE 27E New York Stock Exchange 1.500% Notes due 2029 GE 29 New York Stock Exchange 7 1/2% Guaranteed Subordinated Notes due 2035 GE /35 New York Stock Exchange 2.125% Notes due 2037 GE 37 New York Stock Exchange Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter). Emerging growth company ☐ If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards pursuant to Section 13(a) of the Exchange Act. ☐ Item 3.03 Material Modification to Rights of Security Holders. On July 30, 2021, General Electric Company (the “Company”) filed a Certificate of Amendment to its Certificate of Incorporation (the “Certificate of Amendment”) in order to effect a one-for-eight reverse stock split of the Company’s common stock, together with a corresponding proportionate reduction in the shares of the Company’s common stock authorized under the Certificate of Incorporation, as amended, from 13,200,000,000 shares to 1,650,000,000 shares, and a reduction of the par value per share of common stock from $0.06 to $0.01 (collectively, the “Reverse Stock Split”). The Certificate of Amendment became effective upon acceptance for filing on July 30, 2021. The foregoing summary of the Certificate of Amendment is qualified in its entirety by reference to the full text of the Certificate of Amendment, which is attached hereto as Exhibit 3.1 and incorporated herein by reference. On August 2, 2021, GE common stock will begin trading, on a split-adjusted basis, (i) on the New York Stock Exchange under the symbol “GE”, with a new CUSIP number (369604 301), and (ii) on the London Stock Exchange under the symbol “GEC”, Euronext Paris under the symbol “GNE”, the SIX Swiss Exchange under the symbol “GE” and the Frankfurt Stock Exchange under the symbol “GEC”, each with a new ISIN (US3696043013). Item 8.01 Other Events. In connection with the Reverse Stock Split, the number of shares registered on applicable registration statements filed with the Securities and Exchange Commission have been proportionately reduced. Additionally, as a result of the Reverse Stock Split, the Company made anti-dilution adjustments to the 2007 Long-Term Incentive Plan, as amended and restated (the “Plan”), and to the outstanding awards issued under the Plan in accordance with the terms of the Plan. On July 30, 2021, the Company issued a press release announcing the effectiveness of the Reverse Stock Split. A copy of the press release is filed as Exhibit 99.1 to this report and is incorporated herein by reference. Item 9.01 Financial Statements and Exhibits. (d) Exhibits. Exhibit Number Description 3.1 Certificate of Amendment to the Certificate of Incorporation of General Electric Company, dated July 30, 2021 99.1 Press Release, dated July 30, 2021, issued by General Electric Company 104.1 The cover page from this Current Report on Form 8-K, formatted in Inline XBRL. (2) SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. General Electric Company (Registrant) Date: July 30, 2021 /s/ Michael J. Holston Michael J. Holston Senior Vice President, General Counsel and Secretary (3) CERTIFICATE OF AMENDMENT OF THE CERTIFICATE OF INCORPORATION OF GENERAL ELECTRIC COMPANY UNDER SECTION 805 OF THE BUSINESS CORPORATION LAW OF THE STATE OF NEW YORK FIRST: The name of the Corporation is General Electric Company. SECOND: The Corporation was incorporated by special act of the New York Legislature, Chapter 323, Laws of 1892, effective April 15, 1892. THIRD: The subject of this amendment by General Electric Company is to effect a combination of its Common Stock, $0.06 par value (the “Common Stock”) which is to be effected by means of a one-share-for-eight-shares combination of its Common Stock issued and outstanding or held in treasury, by reducing in the same proportion its authorized Common Stock from 13,200,000,000 authorized shares of Common Stock to 1,650,000,000 authorized shares of Common Stock, and by reducing the par value from $0.06 to $0.01. There is no impact on the number of the 50,000,000 authorized shares of preferred stock of the par value of $1.00 each. FOURTH: In order to give effect to the foregoing combination of the Common Stock, as of the time that this Certificate of Amendment to the Certificate of Incorporation becomes effective pursuant to the New York Business Corporation Law, clause A. of Section 3 of the Certificate of Incorporation is hereby replaced in its entirety with the following: “The aggregate number of shares which the corporation is authorized to issue is 1,700,000,000 shares, consisting of: 1. 1,650,000,000 shares of common stock having a par value of $0.01 per share; and 2. 50,000,000 shares of preferred stock having a par value of $1 per share.” Every eight shares of Common Stock issued and outstanding or held by the Corporation in treasury immediately prior to the time that this Certificate of Amendment of the Certificate of Incorporation becomes effective pursuant to the New York Business Corporation Law shall be, effective as of the effectiveness of this Certificate of Amendment, automatically and without any action on the part of the Corporation or the respective holders thereof, combined and changed into one issued, fully paid and nonassessable share of Common Stock, subject to the treatment of fractional share interests described below. No fractional shares will be issued in connection with the combination of shares of Common Stock. In lieu of any fractional share which a shareholder would otherwise be entitled to receive as a result of the combination of shares of Common Stock, such shareholder will be entitled to receive a cash amount (without interest) equal to, as the Corporation shall determine, either (i) each such shareholder’s proportionate interest in the proceeds, net of selling costs not paid and satisfied by the Corporation, from the aggregation and sale of the fractional shares by the transfer agent of the Corporation or (ii) the closing price of our Common Stock as reported on the New York Stock Exchange on the trading day immediately preceding the date that this Certificate of Amendment of the Certificate of Incorporation becomes effective, as adjusted by the ratio of one share of Common Stock for every eight shares of Common Stock, multiplied by the applicable fraction of a share. FIFTH: Immediately prior to the effectiveness of this Certificate of Amendment, the Corporation had issued approximately 11,693,841,042 shares of Common Stock, $0.06 par value, including approximately 2,912,537,933 treasury shares. Immediately prior to effectiveness of this Certificate of Amendment, the number of unissued shares of Common Stock, $0.06 par value, was approximately 1,506,158,958. At the effectiveness of this Certificate of Amendment, and disregarding the elimination of fractional shares, there will be approximately 1,461,730,130 issued shares of Common Stock, $0.01 par value, including approximately 364,067,241 treasury shares. At the effectiveness of this Certificate of Amendment, subject to the elimination of fractional shares, there will be approximately 188,269,870 unissued shares of Common Stock, $0.01 par value. SIXTH: As a result of the combination of shares of Common Stock and reduction in par value, the stated capital of the Corporation will be reduced in proportion to the ratio of one share of Common Stock for every eight shares of Common Stock, and the Corporation’s additional paid-in capital will be credited with the amount by which stated capital is reduced.
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